[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-bank_audit_prac-47-058":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":21},"bank_audit_prac","銀行內部控制與內部稽核測驗(一般金融)——銀行內部控制與內部稽核","c8",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"difficulty":20},"bank_audit_prac-47-058","47",58,"假設某甲為風險趨避者，不願承擔任何損失，理財業務人員某乙若以新興市場基金近期績效表現優異，積極向某甲推介該類型基金，則某乙違反下列何種政策？",[13,14,15,16],"勤勉政策","商品適合度政策","利益衝突禁止政策","優先交易禁止政策",1,"財富管理業務查核","某甲為風險趨避者、不願承擔任何損失，某乙卻以近期績效佳為由積極推介高波動的新興市場基金，明顯與客戶風險屬性不符，違反(2)商品適合度政策，故選(2)。勤勉、利益衝突禁止、優先交易禁止各有所指，均非本案商品與客戶屬性錯配的問題核心。","medium",[22,26,30,34,38,42],{"id":23,"question":24,"qno":25},"bank_audit_prac-47-051","銀行辦理財富管理業務時，有關法令之遵循，下列敘述何者錯誤？",51,{"id":27,"question":28,"qno":29},"bank_audit_prac-47-052","銀行辦理財富管理業務，對於客戶申訴之適當處理程序，下列敘述何者錯誤？",52,{"id":31,"question":32,"qno":33},"bank_audit_prac-47-053","財富管理業務係以諮詢意見之提供為中心，服務範圍可包括下列何者？ A.所有銀行業務 B.兼營信託業務 C.其他保險、證券相關業務",53,{"id":35,"question":36,"qno":37},"bank_audit_prac-47-054","有關「財富管理顧問業務」在客戶對商品所知有限下所為之銷售，下列程序何者非屬之？",54,{"id":39,"question":40,"qno":41},"bank_audit_prac-47-055","財富管理從業人員自律規範中，妥慎保管客戶資料，禁止洩露機密資料或有不當使用之情事，以建立客戶信賴之基礎，屬於何種原則？",55,{"id":43,"question":44,"qno":45},"bank_audit_prac-47-056","下列何者應在理財業務人員職業道德規範中明訂？",56,1783417885483]